Analyst supporting financial and operational workstreams for Giraffe Bioenergy's innovative clean energy solutions. Collaborating across teams to enhance operational efficiency in a fast - paced environment.
About the role
- Principal Review Analyst at TD managing regulatory oversight for Investment Advisory Service. Performing trade review and regulatory compliance tasks in collaboration with internal teams.
Responsibilities
- Reviews and approves new account documentation to ensure adherence to all applicable FINRA and SEC rules regarding client accounts including Regulation Best Interest and FINRA suitability rules
- Performs all primary trade reviews for appropriateness, including solicited brokerage transactions and annuity/insurance purchases
- Coordinates initial and annual account review for both TDPCW and Reg-9 reviews
- Prepares daily/weekly/monthly exception reports
- Partners with the Operations team to enhance workflows and processes
Requirements
- College degree or equivalent experience required
- 5+ years of Brokerage industry experience
- FINRA Series 7 Required
- FINRA Series 24 Required (or FINRA Series 9/10) (Required or ability to obtain within scheduled time)
- State Life & Health Insurance License (Required or ability to obtain within scheduled time)
- FINRA Series 65 or 66 (Preferred)
- FINRA Series 63 (Preferred)
- Experience in trade platform systems preferred
Benefits
- Health and well-being benefits
- Savings and retirement programs
- Paid time off (including Vacation PTO, Flex PTO, and Holiday PTO)
- Banking benefits and discounts
- Career development
- Reward and recognition
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